DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

Matthew Brown

Advisor at PRINCIPAL SECURITIES, INC.

Groveland, FL | Boise, ID

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:13f613d0-2fdf-0385-397d-f6d221a224bb

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Sep 19, 2012 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PRINCIPAL SECURITIES, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 25, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66|S63|S65
First exam: Jan 25, 2007
First registration: Sep 19, 2012
Dual registered: yes, broker-dealer
Other names: Matthew Wade Brown
IAPD individual key: 5261826

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PRINCIPAL SECURITIES, INC.	Bd affiliated wealth	Jan 18, 2023	n/a	yes	Boise, ID\|Groveland, FL	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Sep 15, 2022	Oct 20, 2022	no	Meridian, ID	Previous registration
JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Asset manager	Nov 8, 2018	Mar 18, 2020	no	BOSTON, MA\|EATONVILLE, WA\|BOSTON, MA	Previous registration
MANULIFE INVESTMENT MANAGEMENT (US) LLC	Asset manager	Aug 23, 2017	Nov 8, 2018	no	EATONVILLE, WA\|BOSTON, MA	Previous registration
SIGNATOR INVESTORS, INC.	Former SEC adviser	Sep 19, 2012	Dec 31, 2014	no	BOSTON, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE FINANCIAL SERVICES, LLC	PRINCIPAL SECURITIES, INC.	Oct 20, 2022	Jan 18, 2023	90	Firm change	Ibd to ibd
JOHN HANCOCK INVESTMENT MANAGEMENT LLC	AMERIPRISE FINANCIAL SERVICES, LLC	Mar 18, 2020	Sep 15, 2022	911	Firm change after gap	Other
MANULIFE INVESTMENT MANAGEMENT (US) LLC	JOHN HANCOCK INVESTMENT MANAGEMENT LLC	Nov 8, 2018	Nov 8, 2018	0	Bulk transfer	Other
SIGNATOR INVESTORS, INC.	MANULIFE INVESTMENT MANAGEMENT (US) LLC	Dec 31, 2014	Aug 23, 2017	966	Channel change	Other

Relationships

Registered with (5)

→ PRINCIPAL SECURITIES, INC.Registered adviserregistration: current employment
Jan 18, 2023 to presentfactForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Sep 15, 2022 to Oct 20, 2022factForm ADV
→ JOHN HANCOCK INVESTMENT MANAGEMENT LLCRegistered adviserregistration: previous registration
Nov 8, 2018 to Mar 18, 2020factForm ADV
→ MANULIFE INVESTMENT MANAGEMENT (US) LLCRegistered adviserregistration: previous registration
Aug 23, 2017 to Nov 8, 2018factForm ADV
→ SIGNATOR INVESTORS, INC.Registered adviserregistration: previous registration
Sep 19, 2012 to Dec 31, 2014factForm ADV

Dated events

Occurred
Oct 20, 2022
Advisor changed firm
Matthew Brown left Ameriprise Financial Services, Llc for Principal Securities, Inc. (registered 2023-01-18)
Form ADVobserved 6 days ago